A. Dullum David - Oct 10, 2024 Form 4 Insider Report for GLADSTONE INVESTMENT CORPORATION\DE (GAIN)

Role
President
Signature
/s/ Michael LiCalsi
Stock symbol
GAIN
Transactions as of
Oct 10, 2024
Transactions value $
$0
Form type
4
Date filed
10/11/2024, 11:11 AM
Previous filing
Aug 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GAIN Common Stock Gift $0 -3K -100% $0.00 0 Oct 10, 2024 Shares held in Trust F1, F2
holding GAIN Common Stock 150K Oct 10, 2024 Direct
holding GAIN Common Stock 1.35K Oct 10, 2024 By Spouse F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a distribution of securities by the Zena Mercedes Yvonne Dullum Trust to the trust's beneficiaries in connection with a distribution of all of the trust's assets.
F2 These securities were held by the Zena Mercedes Yvonne Dullum Trust for the benefit of Mr. Dullum's family. Mr. Dullum was successor Trustee to the trust. Mr. Dullum does not have an economic interest in the trust and disclaims beneficial ownership of these securities. The filing of this report is not an admission that Mr. Dullum is the beneficial owner of these securities for the purposes of Section 16 or for any other purpose.
F3 Mr. Dullum disclaims beneficial ownership of these 1,349 shares held by his spouse and this report shall not be deemed an admission that Mr. Dullum is the beneficial owner of the securities for purposes of Section 16 or any other purpose.